capital markets, broker dealer compliance, investment adviser, AML, AML audits Jay Proffitt 2/27/25 capital markets, broker dealer compliance, investment adviser, AML, AML audits Jay Proffitt 2/27/25 LPL Financial Hit with $18M AML Fine: How GiGCXOs’ AML Audit Solution Can Prevent Compliance Failures Read More capital markets, financial services, reg tech, outsource compliance Jay Proffitt 12/3/24 capital markets, financial services, reg tech, outsource compliance Jay Proffitt 12/3/24 Transforming Compliance: Why GiGCXOs’ AICompliance360 is the Game-Changer for Investment Advisers and Broker-Dealers Read More capital markets, broker dealer compliance, investment adviser compliance, electronic communications, FINRA 2210 Jay Proffitt 9/24/24 capital markets, broker dealer compliance, investment adviser compliance, electronic communications, FINRA 2210 Jay Proffitt 9/24/24 SEC's Latest Crackdown on Electronic Communications Compliance Lapses. Read More
capital markets, broker dealer compliance, investment adviser, AML, AML audits Jay Proffitt 2/27/25 capital markets, broker dealer compliance, investment adviser, AML, AML audits Jay Proffitt 2/27/25 LPL Financial Hit with $18M AML Fine: How GiGCXOs’ AML Audit Solution Can Prevent Compliance Failures Read More
capital markets, financial services, reg tech, outsource compliance Jay Proffitt 12/3/24 capital markets, financial services, reg tech, outsource compliance Jay Proffitt 12/3/24 Transforming Compliance: Why GiGCXOs’ AICompliance360 is the Game-Changer for Investment Advisers and Broker-Dealers Read More
capital markets, broker dealer compliance, investment adviser compliance, electronic communications, FINRA 2210 Jay Proffitt 9/24/24 capital markets, broker dealer compliance, investment adviser compliance, electronic communications, FINRA 2210 Jay Proffitt 9/24/24 SEC's Latest Crackdown on Electronic Communications Compliance Lapses. Read More